# REFUGE HOUSE, INC.

| Procedure Information | Details |
| :---- | :---- |
| **PROCEDURE NAME** | Background Check Procedure |
| **PROCEDURE NUMBER** | FC-BC-01.1 |
| **LEGACY CODE** | FC-17.04 / AS-3.04c |
| **PRIMARY DOMAIN** | HR/Personnel |
| **ADJACENT DOMAINS** | Foster Care; Adoption Services |
| **GOVERNING POLICY** | FC-BC-01 Background Check and Eligibility Policy |
| **ORIGINATED** | June 2026 |
| **APPROVED BY** | Executive Director |
| **EFFECTIVE DATE** | 5/22/2026 |
| **LAST UPDATED** | 5/15/2026 |
| **LAST APPROVED** | 5/22/2026 |
| **DATE(S) OF REVISION** | 2026.06 |

| ## APPLICABLE T3C PACKAGES: | ## APPLICABLE T3C ADD-ON SERVICES: |
| :---- | :---- |
| ☒ T3C Basic Foster Family Home | ☒ Transition Support Services for Youth & Young Adults |
| ☒ Substance Use Support Services | ☒ Kinship Caregiver Support Services |
| ☒ Short-Term Assessment | ☒ Pregnant & Parenting Youth or Young Adult |
| ☒ Mental & Behavioral Health | |
| ☒ Sexual Aggression/Sex Offender | |
| ☒ Complex Medical Needs or Medically Fragile | |
| ☒ Human Trafficking Victim/Survivor | |
| ☒ Intellectual or Developmental Disability (IDD)/Autism Spectrum Disorder | |
| ☒ T3C Treatment Foster Family Care | |

---

## PURPOSE

To operationalize the **Background Check and Eligibility Policy (FC-BC-01)** by providing the step-by-step process for requesting, completing, evaluating, recording, renewing, and continuously monitoring background checks for all persons within scope, using the **HHSC Child Care Regulation (CCR) Provider Portal** and the **Centralized Background Check Unit (CBCU)**. Where this procedure and FC-BC-01 differ, the policy controls.

## SCOPE

All persons required to have a background check under 26 TAC Chapter 745, Subchapter F: agency staff and applicants and controlling persons; foster/adoptive caregivers, applicants, and household members age 14+; substitute caregivers, respite providers, and babysitters; volunteers/interns with child contact; and contracted treatment-team members and service providers. **Caregiver/household-member checks are performed within the home study process; the operational steps for those persons are detailed in the *Foster Home Studies Procedure*, §2 "Background Checks and Clearances," and are governed by this procedure and FC-BC-01.**

---

## DEFINITIONS

See FC-BC-01 for full definitions (CCR, CBCU, fingerprint-based check, Central Registry, eligibility determination, risk evaluation / Waiver-Variance, Rap Back, Employee List Validation). Key portal terms used below: **Submit Background Check Request**, **Validate Employee List**, **Waiver/Variance**, and statuses **Pending / Active / Inactive** with **Conditions** and **Ineligible** flags.

---

## PROCEDURE

### 1. Determine Who Requires a Check and Which Checks

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Administrator / Background Check Coordinator | 1. Identify the person's role and supervision level (staff, controlling person, caregiver, household member 14+, substitute caregiver, volunteer, contractor). 2. Confirm whether the person resided outside Texas in the prior 5 years (triggers out-of-state abuse/neglect checks). 3. Confirm the check types required for the role — the portal auto-selects types on submission. 4. **Apply a §745.605 exclusion only where it clearly fits** — an outside licensed professional (e.g., ECI, PT/ST, counselor, psychologist) whom Refuge House does **not** employ or contract with and who is present only in an official capacity. The exclusion does **not** apply to employees or contracted providers. Document the basis for any exclusion; when in doubt, submit a request. | Before any contact with children in care; at hire/application; before home verification; before engaging a contractor | Refuge House records; CCR Provider Portal | 26 TAC §745.611; §745.605; FC-BC-01 (Scope/Exclusions) |

### 2. Submit the Background Check Request (Portal)

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Background Check Coordinator (or designated portal user) | 1. Log in to the **Child Care Regulation Provider Portal** for the correct Refuge House operation — **Dallas (Operation #859955)** or **San Antonio (Operation #891410)**. 2. Open **Background Checks** → **Submit Background Check Request**. 3. Enter the person's identifying information; for an existing eligible person taking a new role, submit the **new role for the existing individual**. 4. Confirm the auto-selected check types and submit. 5. Record the submission in the Background Check Tracking Log; the person now appears in **Background Check History** as **Pending**. | At hire/application; before contact; when a role changes | CCR Provider Portal → Background Checks | 26 TAC §745.611; FC-BC-01 §3 |

### 3. Complete Fingerprinting (IdentoGO / FAST)

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Subject of the check (with Coordinator support) | 1. Use the **Service Code and UEID** emailed after submission to schedule fingerprinting with **IdentoGO** under the **FAST** program. 2. Complete fingerprinting. 3. Notify the Coordinator when complete. | Promptly after submission; before eligibility can be issued; resubmitted at each 5-year renewal | IdentoGO location | 26 TAC §745 Subch. F; DPS/FBI; FC-BC-01 §3 |

### 4. Monitor Pending Requests and Receive the Determination

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Background Check Coordinator | 1. Monitor **Background Check History** for the change from **Pending** to a determination. 2. Treat the person as **not yet eligible** while Pending — no unsupervised contact with children; present only as expressly allowed by rule for the role. 3. Save/print the CBCU notification when issued. | From submission until determination issued | CCR Provider Portal | 26 TAC §745 Subch. F; FC-BC-01 §4 |

### 5. Act on the Determination ("Unified Response")

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Administrator / Background Check Coordinator | **Eligible** (Conditions: No / Ineligible: No; status **Active**): person may be present and have contact with children in care; proceed with hire/verification/engagement. **Eligible with conditions** (Conditions: Yes): implement and document the CBCU-specified conditions before/while the person has contact; see Step 6. **Ineligible** (Ineligible: Yes): the person **may not** be present or have any contact with children in care — ensure no such contact immediately and take the corresponding personnel/credentialing action. | Immediately upon determination | CCR Provider Portal; personnel/licensing/provider files | 26 TAC §745 Subch. F, §745.695; FC-BC-01 §4 |

### 6. Risk Evaluation / Waiver or Variance

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Administrator (with Executive Director approval) | 1. Where a person has criminal history or an abuse/neglect finding that may permit a **risk evaluation**, request/track it through the portal's **Waiver/Variance** function. 2. Provide any information CBCU requests. 3. If conditions are granted, document them and ensure ongoing compliance; if denied, treat as **Ineligible**. | When CBCU indicates a risk evaluation is available/required | CCR Provider Portal → Waiver/Variance | 26 TAC §745 Subch. F, Div. 5 (§745.695); FC-BC-01 §4 |

### 7. Record and Retain Results

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Background Check Coordinator | 1. Save the CBCU determination/notification. 2. File it in the correct record: **personnel file** (staff), **home licensing/credentialing file in Radius** (caregivers/household members), **provider file** (contractors). 3. Restrict access to staff with a need to know and protect results from unauthorized access or release. | Upon receipt of each determination | Personnel files; Radius; provider files | 26 TAC §745 Subch. F; TAC Ch. 749; Texas Human Resources Code §40.005(d)–(e); FC-BC-01 §8 |

### 8. Five-Year Renewal

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Background Check Coordinator | 1. Track each determination's date and calendar the renewal before the 5-year mark. 2. Submit the renewal request and have the subject **re-fingerprint** through IdentoGO/FAST. 3. Update records so eligibility remains continuous. | At least every 5 years; initiate before expiration | CCR Provider Portal; Tracking Log | 26 TAC §745 Subch. F; FC-BC-01 §5 |

### 9. Ongoing Monitoring (Rap Back) and Immediate Removal

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Administrator / Background Check Coordinator | 1. Monitor for CCR/CBCU notifications generated by **Rap Back** (new arrests/findings). 2. If a person becomes **Ineligible** or new conditions are imposed, **immediately remove the person from any contact with children in care** and take required personnel/credentialing action. 3. Document the action and notify affected parties (e.g., placement hold). | Continuously; act immediately on notice | CCR Provider Portal; agency records | 26 TAC §745 Subch. F; FC-BC-01 §6 |

### 10. Validate the Employee List

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| Administrator / Background Check Coordinator | 1. When prompted (CCR notifies ~30 days before due), open **Validate Employee List**. 2. Confirm affiliated persons are accurate and current. 3. **Inactivate** any person no longer associated with the operation so Rap Back covers only active personnel. 4. Record the validation date. | On the CCR-prompted schedule (most recent on file: 04/02/2026) | CCR Provider Portal → Validate Employee List | 26 TAC §745 Subch. F; FC-BC-01 §7 |

### 11. Self-Disclosure of New Information

| Who | How | When | Where | Regulatory Reference |
| :---- | :---- | :---- | :---- | :---- |
| All persons in scope; Administrator | 1. Any person must promptly report a new arrest, charge, conviction, deferred adjudication, or abuse/neglect finding. 2. The Administrator submits any required update through the portal and re-evaluates eligibility/contact. 3. Failure to disclose is grounds for disciplinary action up to termination or removal. | Promptly upon any new event | Refuge House records; CCR Provider Portal | TAC Ch. 749; FC-BC-01 §6 |

---

## IMPLEMENTATION — Pulse Background Check Monitoring

The **Pulse compliance platform** provides a **Background Checks** monitoring view (Compliance Dashboard) supporting the ongoing-monitoring steps above (Steps 4, 7, 8, 9, and 10). The DFPS **Child Care Regulation Provider Portal** is the authoritative system of record for eligibility; the implementation supports monitoring and reconciliation and does not submit checks, make eligibility decisions, or replace any portal action — staff perform all portal submissions, validations, and inactivations per Steps 2–11.

The Background Checks view:

- **Reconciles people against the portal.** Gathers every person Refuge House is responsible for checking across both operations — Dallas (#859955) and San Antonio (#891410) — including staff, foster/adoptive caregivers, household members age 14+, substitute caregivers, babysitters, alternative caregivers, and frequent visitors, and compares them against the operation's portal eligibility list (the CBCU **"Unified Response"** per person), the authoritative source for eligibility.
- **Classifies eligibility from the portal determination**, never by counting individual checks: **ineligible**, **eligible with conditions**, **eligible**, **pending**, or **inactive**. An **ineligible** determination surfaces as the highest-priority alert.
- **Surfaces gaps.** Flags a person age 14+ in an applicable role who has no portal determination (a true gap) versus a resident minor under 14 who is **not yet required** to be checked, and maintains an **"approaching 14"** watchlist that flags a resident minor as the 14th birthday nears so a check can be initiated before it is due.
- **Tracks five-year renewals** by calculating determination date + 5 years and flagging upcoming and past-due renewals (supports Step 8).
- **Drives the Employee List Validation worklist** (supports Step 10): identifies persons still **Active/Pending** in the portal who are no longer affiliated with Refuge House, prompting staff to inactivate them in the portal so Rap Back covers only active personnel. The §745.605 exclusion applies so outside licensed professionals are not treated as gaps.
- **Provides a recordkeeping overlay** (supports Step 7 and FC-BC-01 §8): links each person to the filed CBCU determination/notification PDF in the licensing/credentialing/personnel record and flags records missing the filed document. Staff submitted under both operations carry two filed records (one per operation).
- **Produces a weekly reconciliation report** — emailed to designated recipients, runnable on demand and on a weekly schedule — highlighting ineligible determinations, eligible-with-conditions, 14+ gaps, renewals due, the Employee List Validation worklist, missing filed records, and the approaching-14 watchlist.

The portal eligibility list is ingested into the view by import of the exported portal list.

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## QUALITY ASSURANCE

| Who | How | When | Where |
| :---- | :---- | :---- | :---- |
| Administrator (or designee) | Audit that: every person with child contact has a current eligible determination; pending determinations are not in unsupervised contact; renewals and Employee List Validations are current; Rap Back notices were acted on; and results are retained in the correct files. | Quarterly, and before each SSCC/CCR monitoring or inspection | Personnel/licensing/provider files; CCR Provider Portal |

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## REFERENCES AND REGULATORY ALIGNMENT

- **26 TAC Chapter 745, Subchapter F** — Background Checks: §745.611 (who requires checks), **§745.605 (persons for whom a request is not required, incl. outside licensed professionals at §745.605(b)(3))**, Division 5 §745.695 (risk evaluation), and the subchapter's provisions on submission, determinations, renewal, Rap Back, and Employee List Validation.
- **26 TAC Chapter 749** — Minimum Standards for Child-Placing Agencies: requires the agency to comply with the background-check requirements of Chapter 745, Subchapter F, and to keep background-check results confidential per Texas Human Resources Code §40.005(d)–(e); self-disclosure of new information.
- **HHSC Child Care Regulation** — CBCU and Child Care Regulation Provider Portal; **DPS/FBI** fingerprinting via **IdentoGO/FAST**; **DFPS Central Registry (IMPACT)**.
- **T3C Blueprint (October 2025)** — foster-home **credentialing** requirements: background checks are a prerequisite to T3C credentialing and are completed within the home study/credentialing process (see FC-17). The Blueprint does not establish a separate background-check standard distinct from the CCR/CBCU rules above.
- **RCC / SSCC Contract** — child-safety and background-check requirements; confirm any DFPS contract-side checks with the contract manager.
- **FY-26 SSCC Joint Monitoring Tool** — Administrative (Desk) Review: "Criminal Background Check Policy."

## RELATED POLICIES AND PROCEDURES

- **FC-BC-01 Background Check and Eligibility Policy** (governing policy)
- FC-17 Foster Home Studies and T3C Credentialing Policy; **Foster Home Studies Procedure** (§2 Background Checks and Clearances — caregiver/household operational steps)
- Personnel Manual & HR Handbook — *Employee Selection Process* (staff)
- Recruitment and Retention of Foster Families Policy; Alternative and Substitute Care Policy and Procedure (substitute caregivers/babysitters)
- FC-16 Staff and Caregiver Training Policy / Procedure (contracted-provider verification)
- Employee Privacy Policy; Confidentiality and Non-disclosure Policy

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*This procedure operationalizes FC-BC-01. The Executive Director may update it to reflect changes in the CCR Provider Portal, CBCU process, or regulations without Board approval, provided it remains aligned with the policy's intent. Process details reflect the HHSC CCR background-check system as of June 2026; follow current CCR guidance and the agency's assigned CBCU representative.*